Quality & Compliance Manager – General Advice

The Advice arm of this major Financial Services group is going through significant change and is reviewing its compliance and risk frameworks. As a result they have created this role to review the existing framework surrounding the general advice team and make and implement recommendations to significantly overhaul it.

Role Overview

Working with the Head of General Advice you will hire your own team, review the existing framework and make recommendations to improve it. Along with your team, you will them implement the framework and ensure obligations are met in line with both regulatory standards and the company’s ‘customer first’ philosophy.

Specifically:

Help embed a culture of quality and compliance, ensuring that the team meets company and regulator expectations through a structured framework

Ensure the quality and compliance framework remains current via reviews against changes in legislation, company policy and business appetite

Monitoring and supervision of activities undertaken in the general advice teams with effective feedback loops to ensure continuous improvement